Market Surveillance Officer
Digital Finance Group
UAE, Abu Dhabi,Abu Dhabi
منذ 4 ساعات
source : Drjobs.ae

Job Role : Market SurveillanceOfficer

Description :

  • Responsibilities Conduct real time dailysurveillance of the trading Prepare internal surveillanceinvestigation reports on potential market misconduct and provideperiodic referrals of cases for enforcement and furtheraction
  • Review Admission to tradingapplications to ensure compliance with local procedures andcoordinate with companies their advisers and internal departmentssuch as market operations IT to facilitate the Admission processDraft of company policies and procedures in relation to AntiMoneyLaundering member compliance
  • Personal TradingChinese Wall Gift and Entertainment Draft and update Business Rulesand Market Notices to ensure orderly market
  • Provide staff appropriate training on AML policiesprocedures systems and controls Conduct KYC due diligence screeningand riskbased assessment of every Member and Issuer to determinethe effectiveness of the exchange systems and controls in themanagement of its AML risks Assist with the preparation of theannual AntiMoney Laundering
  • Report andquarterly compliance reports to the board of directors
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